Senior Director, Compliance

Overview Senior Director, Compliance

The Senior Director, Compliance will perform a key risk management role in the second line of defense for Capital One. They are a critical member of the team responsible for delivering effective challenge and compliance advice for business processes as well as serving as a subject matter expert to ensure the development of the compliance program at Capital One aligns with the company’s broader enterprise risk management framework. 

Senior Directors are highly motivated professionals with excellent organizational, leadership, and communication skills. They have a high degree of exposure to executives, including the opportunity to create and implement innovative solutions to transform risk management.

Responsibilities:

• Provide expert advice and effective challenge on compliance risks, including guidance on policies, standards, and procedures.

• Ensure accurate application of compliance requirements to business practices. 

• Provide effective challenge during product planning or changes to business practices to ensure necessary compliance controls are in place.

• Develop strong relationships with Business Risk, Legal, and Audit partners.

• Support engagement, preparation, and delivery efforts for audits and exams.

• Display a passion for coaching and developing others through change.

In this role, you’ll be expected to demonstrate proficiency in key areas:

• Regulatory Risk Assessment: Conduct impact assessments on regulations to ensure the business adjusts its strategies without violating guardrails.

• Monitoring and Effective Challenge: Provide effective challenge to business leaders and relevant stakeholders on strategic initiatives. 

• Human Centered: Obsesses about internal and external customer needs to reimagine and innovate product solutions.

• Technology Driven: Leverages technology to deliver innovative and resilient solutions that enable both near term and long term value.

• Integrated Problem Solving: Identifies and resolves complex problems to deliver outcomes while mitigating risks.

• Transformational Leadership: Leads cross functional teams to solve customer problems and drive organizational alignment.

Basic Qualifications:

• Bachelor’s degree or military experience

• At least 10 years of legal, compliance, or risk management experience

Preferred Qualifications:

• Juris Doctor or Master’s degree

At this time, Capital one will not sponsor a new applicant for employment authorization for this position.

The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

Plano, TX: $217,000 - $247,700 for Sr. Director, Compliance

Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate’s offer letter.

This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.

Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital One Careers website . Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

This role is expected to accept applications for a minimum of 5 business days.

No agencies please. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York City’s Fair Chance Act; Philadelphia’s Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.

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Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).